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How to survive a regulatory interview
  • Berwin Leighton Paisner LLP
  • United Kingdom
  • November 4 2015

Daunting, pressurised and time-consuming are just some of the words that are used to describe regulatory interviews. After spending a year working on

50 predictions: directors' & officers' financial institutions
  • DAC Beachcroft LLP
  • United Kingdom
  • September 7 2015

US-style class actions have not yet reached Europe, although steps are being taken to make it easier to bring collective actions in several member

FCA announces that its CEO is stepping down
  • Cooley LLP
  • United Kingdom
  • July 17 2015

Martin Wheatley, the CEO of the UK's Financial Conduct Authority, is to step down on 12 September 2015. He will remain as an advisor to the FCA's

PRA and FCA proposals on individual accountability and remuneration
  • Cleary Gottlieb Steen & Hamilton LLP
  • United Kingdom
  • March 27 2015

The willingness of financial regulators to get tough with individuals has never been greater. The financial crisis and high profile cases of

Embedding accountability within the financial services sector
  • Taylor Wessing
  • United Kingdom
  • January 28 2015

While commending companies and signatories for improvements made during 2014, the FRC is sending out a strong message that it intends to stamp out

This week at the UK regulators - 29 September 2014
  • Clifford Chance LLP
  • United Kingdom
  • September 29 2014

This week the FCA imposed a fine on Barclays Bank Plc of £37.7 million for failing properly to protect clients' custody assets, and the SEC awarded

This week at the UK regulators - 23 June 2014
  • Clifford Chance LLP
  • United Kingdom
  • June 23 2014

Aside from fines imposed on two firms for issues in relation to historic financial promotions in connection with investment products, the most

International regulatory update - 6 9 May 2014
  • Clifford Chance LLP
  • European Union, Germany, Indonesia, Switzerland, United Kingdom
  • May 13 2014

The EU Council has formally adopted the Recovery and Resolution Directive (RRD). The Directive provides national authorities with tools to pre-empt

International regulatory update -10 14 March 2014
  • Clifford Chance LLP
  • European Union, Germany, Hong Kong, Netherlands, United Kingdom
  • March 18 2014

The EU Commission has adopted a package of Regulatory Technical Standards (RTS) needed to implement provisions of the Capital Requirements Regulation

General Counsel Update - November 2013 - A summary of major developments in key areas
  • Herbert Smith Freehills LLP
  • Australia, Indonesia, United Kingdom
  • November 29 2013

A round up of key legal and regulatory developments